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Financial ADVSR advisor directory · SEC adviser records

Aegis Capital Corp. financial advisors in California

Every SEC-registered investment adviser representative at a Aegis Capital Corp. office in California, by city and A to Z.

The short answer

6 registered advisors work at Aegis Capital Corp. in California, out of 94 nationwide; it's the firm's number 3 state by advisors, and the most are in Laguna Niguel (2). 1 list the CFP designation and 5 are also registered broker representatives.

Aegis Capital Corp. advisors by city in California

Every firm in California →

Laguna Niguel 2Rolling Hills Estates 2San Francisco 2Burlingame 1

Aegis Capital Corp. advisors in California, A to Z

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Aegis Capital Corp. advisors in every state →Aegis Capital Corp.: assets, clients and custodians →Advisor Moves: who changed firms this week →

Aegis Capital Corp. in other states

New York 49Florida 10Connecticut 6New Jersey 5Oregon 4

Questions

How many Aegis Capital Corp. financial advisors are in California?

6 investment adviser representatives are registered at Aegis Capital Corp. offices in California, according to the SEC's Investment Adviser Public Disclosure records, out of 94 at the firm nationwide. 1 list the CFP designation and 5 are also registered as broker representatives.

Where in California does Aegis Capital Corp. have the most advisors?

Laguna Niguel, with 2, then Rolling Hills Estates (2). Aegis Capital Corp. has advisors in 4 cities in California.

How do I check a Aegis Capital Corp. advisor in California?

Each advisor below links to a profile with their registrations, exams, designations and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the Aegis Capital Corp. office they're registered at; broker-only representatives (FINRA BrokerCheck) aren't included.